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AA

Aaron M. Allwardt

CREDIT UNION INVESTMENT SERVICES
Oak Ridge, NC 27310
Some features on this profile are disabled
CRD#: 7290155
AA

Professional summary

Aaron Michael Allwardt is a registered financial advisor currently at CREDIT UNION INVESTMENT SERVICES located in Oak Ridge, North Carolina and SECU BROKERAGE SERVICES located in Oak Ridge, North Carolina.

Aaron is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Aaron has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
STATE EMPLOYEES' CREDIT UNION. INVESTMENT RELATED BUSINESS. NATURE: FINANCIAL SERVICES. OSJ OFFICE ADDRESS: RALEIGH, NC. TITLE: FINANCIAL Advisory Services Specialist. START DATE: 5/2017. DUTIES: PROVIDE FINANCIAL SERVICES TO ELIGIBLE MEMBERS AND PROVIDE OPPORTUNITIES FOR MEMBERS TO IMPROVE THEIR ECONOMIC AND SOCIAL CONDITION. SECU LIFE INSURANCE COMPANY. INVESTMENT RELATED BUSINESS. ADDRESS: RALEIGH, NC. NATURE: LIFE INSURANCE. TITLE: AGENT. START DATE: 8/2020. DUTIES AND TIME (SOME DURING SECURITIES TRADING HOURS) AS REQUIRED IN CONJUNCTION WITH POSITION AT STATE EMPLOYEES' CREDIT UNION.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Aaron Michael Allwardt's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 1, 2021 - Present

CREDIT UNION INVESTMENT SERVICES

Office #1: 2047 Oak Ridge Road, Oak Ridge, NC 27310
RIA
CRD#: 144871
Oak Ridge, NC
Current

October 6, 2020 - Present

SECU BROKERAGE SERVICES

Office #1: 2047 Oak Ridge Road, Oak Ridge, NC 27310
BD
CRD#: 19899
Oak Ridge, NC

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
North Carolina
(11/20/2020)
IAR
North Carolina
(2/1/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/1/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/20/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 10/6/2020
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/22/2020
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CU
CREDIT UNION INVESTMENT SERVICES
CREDIT UNION INVESTMENT SERVICES | CREDIT UNION INVESTMENT SERVICES, INC.

CRD#: 144871 / SEC#:

North Carolina
Registered Investment Advisory firm - (9/5/2007 Approved)
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Contact information

Main Address
801 Hillsborough Street 3rd Floor, Raleigh, NC 27603
Mailing Address
Po Box 26807, Raleigh, NC 27611
Phone number
(800) 451-5467
Established
Firm type
Fiscal year end
# of Employees
258

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts1
AUM (Assets Under Management)$ 110,960

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

CREDIT UNION INVESTMENT SERVICES

CRD#: 144871Oak Ridge, NC 27310

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